The vast majority of interactions between investors and investment professionals are positive. However, sometimes the relationship doesn’t go as planned and you may find yourself considering arbitration or mediation. There are many factors to consider as you proceed down these paths, such as should you hire an attorney.
Maureen A. DelaneyChief Hearing Officer and Senior Vice PresidentFinancial Industry Regulatory AuthorityMaureen Delaney is the Chief Hearing Officer at FINRA. She has been a Hearing Officer in FINRA’s Office of Hearing Officers since 2009. Prior to joining the Office of Hearing Officers, she served as Senior Counsel in FINRA’s Department of Enforcement in Washington, D.C. Before joining FINRA, Ms
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and Securities and Exchange Commission (SEC) decisions in FINRA cases).
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Registration
Training
Executive Summary
Members are advised that the National Association of Securities Dealers, Inc. (NASD®) has filed a proposed rule change to its Membership and Registration Rule 1120 (
SEC Approves Amendments Raising the Threshold for Single Arbitrator Cases to $100,000
FINRA Announces Amendments to Make Permanent the Portfolio Margin Pilot Program
2012 Annual Audit and FOCUS Report Filing Deadlines
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsRegistered RepresentativesSenior ManagementTrading
IM-6660-1NASD Rule 6660OTC
Equity SecuritiesQuotationsTrading Halts
OTC Equity Trade and Quote Halt Codes
Executive Summary
On December 18, 2006, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 6660 to expand the scope of NASD's authority
